DFPG’s CIO, Dave Laga, Honored with Industry Award

DFPG’s Chief Investment Officer, Dave Laga, Honored with Industry Award

DFPG Investments is pleased to announce that Dave Laga, principal and Chief Investment Officer, was awarded the Distinguished Service Award by ADISA, the nation’s largest trade association for alternative and direct investments.

In a press release commenting on this year’s award recipients, ADISA Executive Director and CEO John Harrison said, “Each of these recipients have adhered to the highest ethical standards and quality performance in the industry and have demonstrated a commitment to excellence and service.”

According to ADISA, the Distinguished Service Award is presented to individuals and companies who have provided exceptional service to ADISA, the alternative investments industry, and the overall community.

“On behalf of the entire DFPG family, I want to congratulate Dave on this remarkable accomplishment,” says DFPG CEO Mike Bendix. “Dave is a well-regarded and respected professional within our industry, known throughout for his expertise and experience in due diligence. He’s an invaluable member of ADISA and the DFPG family.”

In addition to being past president at ADISA, Bendix received the 2014 ACE Award, which is ADISA’s lifetime achievement award. DFPG Investments received ADISA’s 2017 President’s Award, which is given to an individual or organization that has made outstanding contributions in their chosen field, by service in local, state or national affairs, or in support of the advancement and continued excellence of ADISA.

Serratelli Financial Group Joins DFPG Investments

DFPG Investments, Inc., a dually-registered independent broker-dealer and registered investment advisor, is pleased to announce that Serratelli Financial Group, based in Bethlehem, Pennsylvania, has joined DFPG.

“We are pleased to welcome Jim Serratelli to DFPG,” says DFPG’s CEO Mike Bendix. “Jim and his team are a great addition. We have big plans about what this partnership means for both DFPG and Serratelli Financial Group.”

Mike Bendix is the former president of the Alternatives & Direct Investment Securities Association (ADISA), which is the nation’s largest alternative investments association. Bendix currently serves as chairman of ADISA’s Broker-Dealer Advisory Council.

DFPG was recently added to Inc. Magazine’s Inc. 5000. The firm was also recognized by both Utah Business magazine and the MountainWest Capital Network (MWCN) as one of the fastest-growing companies in Utah.

“DFPG offers me the ability to diversify my practice,” says Serratelli. “I’ve been very successful in building my business through an expertise in insurance offerings. But the partnership with DFPG means I can now venture into wealth management solutions and have access to their unique platform of alternative investments.”

DFPG is an independent broker-dealer and registered investment advisor (RIA) with registered representatives and investment advisors located across the country. As a broker-dealer and RIA, DFPG provides a full-service platform that enables its financial advisors to more effectively serve their investors.

DFPG is recognized within the financial services industry for its expertise and due diligence in alternative investments, with a focus on securitized real estate. For more information about DFPG, including media inquiries, please contact Nick Hansen (nhansen@dfpg.com).

DFPG Adds Ashland Pacific

DFPG Investments is pleased to announce that Taylor Ashland of Ashland Pacific (www.ashpac.com), based in Medford, Oregon, has joined DFPG.

“We are thrilled to welcome Taylor and Ashland Pacific to DFPG,” says DFPG’s CEO Mike Bendix. “Taylor is an impressive individual who has a deep commitment to his clients. He’s a great addition to the culture we’ve built and to the long-term vision we have for DFPG.”

Mike Bendix is the former president of the Alternatives & Direct Investment Securities Association (ADISA), which is the nation’s largest alternative investments association. Bendix currently serves on ADISA’s Board of Directors.

DFPG was recently added to Inc. Magazine’s Inc. 5000. The firm was also recognized by both Utah Business magazine and the MountainWest Capital Network (MWCN) as one of the fastest-growing companies in Utah.

“I was initially attracted to DFPG because of their unique product platform and reputation for exceptional due diligence,” says Ashland. “However, as I got to know the company and experience their culture, I realized the value of joining DFPG is their unique team of talented individuals.”

Ashland Pacific prides itself on delivering a comprehensive suite of boutique solutions for any sized estate, business, or personal financial situation.

DFPG is an independent broker dealer and registered investment advisor (RIA) with registered representatives and investment advisors located across the country. As a broker-dealer and registered investment advisor (RIA), DFPG provides a full-service platform that enables its financial advisors to more effectively serve their investors.

DFPG Investments Recieves ADISA’s Annual President’s Award

DFPG Investments has been awarded the Alternative & Direct Investment Securities Association’s (ADISA) 2017 President’s Award.

The ADISA President’s Award is “given to an individual or organization that has made outstanding contributions in their chosen field, in service in local, state or national affairs, or in support of the advancement and continued excellence of ADISA.”

John Grady, ADISA’s current President, announced the award at ADISA’s recent annual conference in Las Vegas, Nevada. Mike Bendix, DFPG’s CEO, and Dave Laga, DFPG’s CIO, were present and accepted the award from Grady.

According to Grady, ADISA awarded DFPG the President’s Award for their participation and commitment to the association. Primarily, both Bendix and Laga have played a pivotal role in the association’s annual Due Diligence Forum over the past four years.

DFPG was recognized with several other award honorees during the conference. ADISA’s Executive Director and CEO, John Harrison, said that DFPG, along with the other honorees, were recognized “for their dedication and perseverance throughout the year that has led to substantial achievements for the alternative, direct investment industry.”

Harrison added, “These recipients demonstrated a remarkable commitment to excellence and adhered to the highest ethical standards and quality performance, and we’re pleased to present each with their respective award.”

“We appreciate the honor of receiving the 2017 President’s Award from ADISA,” says Ryan Smith, DFPG’s President. “ADISA is a well-respected and an important voice in the alternative world. DFPG appreciates the work of John Grady and the entire ADISA board on adhering to its core mission of providing education and advocacy for our industry.”

Smith noted that DFPG is a long-time ADISA partner. Mike Bendix, DFPG’s CEO, is the former president of ADISA and recipient of ADISA’s 2014 ACE Award, the association’s lifetime achievement award. Dave Laga, DFPG’s CIO, is also actively involved with the association’s Due Diligence forums.

DFPG Welcomes 13 New Representatives with Addition of American Financial Network

DFPG Investments welcomes 13 new representatives with the addition of American Financial Network (AFN).

AFN, which is based in Calabasas, California, manages $336M AUM.  AFN was founded over 30 years ago with the goal of providing personal financial planning, corporate consulting, and specialized services to corporate executives.

“We’re pleased to welcome AFN to DFPG,” says DFPG CEO Mike Bendix.  “They’ve done an excellent job assembling a talented team of professionals who provide a unique and specialized service to their clientele.”

Bendix continues, “2017 has been a great year at DFPG.  I am proud of our reps, advisors, and home office team for making this such a special year.”

Bendix is the former president of the Alternatives & Direct Investment Securities Association (ADISA), which is the nation’s largest alternatives investments association.  Bendix is still very active at ADISA, serving on its board.

DFPG was recently added to Inc. Magazine’s Inc. 5000.  The firm was also recognized by both Utah Business magazine and the MountainWest Capital Network (MWCN) as one of the fastest-growing companies in Utah.

Craig Watanabe, AFN’s Chief Compliance Officer, said the move to DFPG “establishes an important broker-dealer partnership for our clients and business.”

Watanabe continues, “DFPG is an industry leader in several aspects that are critical to our business, including alternative investments.  We require a broker-dealer partner who has a strong commitment to due diligence and compliance, and it was clear to us that DFPG excels at both.”

Brett Ellen, AFN’s CEO, added, “Frankly, we feel like DFPG is a rare find within the broker-dealer community.  They’ve got the specialized experience in alternative investments, which we really need, but they also have a great reputation and impressive culture.  We recognized the fit between us immediately.”

DFPG is an independent broker dealer and registered investment advisor (RIA) with registered representatives and investment advisors located across the country.  As a broker-dealer and registered investment advisor (RIA), DFPG provides a full-service platform that enables its financial advisors to more effectively serve their investors.  DFPG is recognized within the financial services industry for its expertise and due diligence in alternative investments, with a focus on securitized real estate.

DFPG Makes MWCN’s Utah 100 List

The MountainWest Capital Network (MWCN) has named DFPG to the annual Utah 100 list, which recognizes Utah’s 100 fastest-growing companies.

DFPG Honored as One of Utah’s Fastest-Growing Companies

Utah Business magazine has named DFPG Investments to their annual Fast 50 list, which recognizes Utah’s fastest-growing companies.

The Fast 50 honorees are selected through a combination of criteria, including a minimum of 5 years in business, revenue growth, and total revenue. Utah Business magazine will recognize DFPG at the annual Fast 50 awards luncheon and will feature DFPG in their September issue.

“We are thrilled to have been recognized as one of the fastest growing companies in Utah,” says Ryan Smith, DFPG’s president. “Our growth is a reflection of our hard-working reps and advisors, our dedicated home office staff, and the core values we place at the center of everything we do.”

DFPG’s footprint spans nationwide, with registered representatives and investment advisors located across the country. As a broker-dealer and registered investment advisor (RIA), DFPG provides a full-service platform that enables its financial advisors to more effectively serve their investors. DFPG is recognized within the financial services industry for its expertise and due diligence in alternative investments, with a focus on securitized real estate.

Smith described DFPG’s growth in recent years by saying, “Our growth story is characterized by a simple formula. DFPG created a focused and deep expertise, and then we built a brand around it. Our brand has come to be recognized as an industry leader in our segment of the market. The benefit of this approach is that, so long as DFPG delivers on our brand promise, the demand generated within the market will create continued opportunity.”

In addition to being awarded Utah Business magazine’s 2017 Fast 50, DFPG was also including Inc. Magazine’s Inc. 5000, which recognizes America’s fastest-growing private companies.

DFPG Investments, Inc. is a national, full-service, independent broker-dealer and registered investment advisor (RIA) that specializes in working with representatives who want to incorporate alternative investments, with an emphasis in investment real estate, in their business. More information about DFPG, including media inquiries, can be directed to Nick Hansen (nhansen@dfpg.com).

DFPG Makes Inc. Magazine’s Inc. 5000*

DFPG Investments will be included in Inc. Magazine’s prestigious Inc. 5000, which recognizes America’s fastest-growing private companies.

DFPG Adds RCM Investments

SALT LAKE CITY, Utah – ­­­­­­July 14, 2017 – DFPG Investments, Inc., a dually-registered independent broker-dealer and investment advisor, is pleased to announce that RCM Investments, located in Provo, Utah, has joined DFPG.

“We are thrilled about our new partnership,” noted Tony Riggs, founder and President at RCM Investments.  “DFPG will provide our clients with access to unique products and robust due diligence.  From their transition process to their branch-level support initiatives, DFPG was the clear leader among the many options we considered.”

Commenting on the RCM Investment news, DFPG’s CEO Mike Bendix called 2017 a growth year, noting that DFPG has increased its total rep count by more than 13% through July.  “We’ve known the RCM team for a long time.  We also know who the other broker-dealers were that they were considering.  So this was a big win for us and I couldn’t be more thrilled to welcome them to the DFPG family.”

In addition to his role as CEO at DFPG, Mike Bendix is the past President of ADISA, a national association for investment professionals working in alternative and direct investments.  Bendix and his two business partners, Ryan Smith and Dan Luke, launched DFPG with the vision of creating a boutique broker-dealer that would specialize in working with representatives who want to incorporate alternative investments, with an emphasis in investment real estate, in their business.

Smith, DFPG’s President, says the firm’s recent growth is the result of several factors.  “Reps are on the move,” Smith said.  “I think the agitation behind the movement is a combination of many things.  There are some reps who need to make the move because their current broker-dealer is no longer providing the alternative products they need.  Others want to escape the juggernaut and return to a smaller and more boutique culture.  And then there are those reps who are moving because their broker-dealer is being acquired or merged into another.”

Smith says that DFPG’s proprietary transition process, called QuickLaunch, and the firm’s experience in due diligence and alternative investments have been the difference maker.  “We’ve found that reps who want to make a broker-dealer change are often reluctant to follow through because they are afraid of the transition.  We created QuickLaunch as a way to eliminate this concern.  Transitions are never fun, but our QuickLaunch program eliminates a lot of the hassle and, truth be told, sets DFPG apart from all our competitors.”

“When you couple QuickLaunch with our alternative products, our due diligence, and our RIA platform,” continues Smith, “we feel confident that DFPG’s value proposition will resonate in the market and will creating lasting value for our reps for many years to come.”

Others who covered this news:

DI Wire

FA Magazine

DFPG Adds Two New Advisors

SALT LAKE CITY, Utah – May 18, 2017 – DFPG Investments is pleased to announce that Coughlan and Coughlan Financial Solutions (CCFS), located in Kingfisher, Oklahoma, has joined DFPG.

CCFS is operated by Jake Coughlan and his father, Jim Coughlan. Prior to joining DFPG, CCFS was a branch office of Wilbanks Securities, which is located in Oklahoma City, Oklahoma. In addition to providing financial advisory services, Jim Coughlan works as a Certified Public Accountant (CPA).

“Jake and Jim have a stellar record and reputation,” says DFPG’s President, Ryan Smith. “We are very pleased that they have joined our firm. As we always say, we work very hard to identify partners that will fit within our culture and follow our core values. Jake and Jim are another great example of the kind of advisors DFPG was built to serve.”

Jake Coughlan noted that DFPG’s clearing and unique custody relationship with RBC, along with DFPG’s expertise in alternative investments, were crucial factors in making his decision. In addition, Jake stated that “DFPG’s commitment to due diligence and compliance are very important to us as we continue to work with our clients.”

DFPG’s CEO, Mike Bendix, says that DFPG has several additional representatives that will join the firm over the next few months. Bendix says, “In the context of today’s regulatory environment, reps are starting to appreciate how pivotal a broker-dealer relationship is to their business and their clients. Frankly, if a rep wants to offer clients access to alternative investments, then the selection of a broker-dealer is probably their most important consideration.”

Bendix, who is also the former president of ADISA, the nation’s largest alternative investment securities association, says that the popularity of the endowment model, along with investors seeking portfolios that aren’t entirely correlated with the market, has created demand for alternative investments.

“DFPG was originally created with the vision to be an industry leader in the alternative investment segment,” adds Bendix. “Over the years, we have expanded our brand. We have great technology, an attractive RIA platform, and several business development products that create value for our reps. But we haven’t lost sight of our mission and core values.”